Regulatory Compliance Checker
Advanced query engine for SAMA & CMA regulatory frameworks.
COMPLIANCE_MODULES
License application requirements - Legal form
Minimum capital requirements by activity type
Headquarters and management location requirement
CMA license review timeline
Ongoing capability and suitability requirements
Capital changes require CMA approval
Scope of permitted business activities
30-day advance notice for license changes
License suspension procedures
License cancellation procedures
Controller changes require approval
Close links notification
Record retention requirement - 10 years
Annual licensing fees
Core principles compliance - 11 principles
Distribution of responsibilities
Board independence requirements
Compliance officer appointment
AML/CFT officer appointment
Complaint resolution procedures
Client classification requirement
AML/CFT compliance before business
Know Your Client (KYC) requirements
Suitability assessment requirement
Conflict of interest management
Margin requirements for listed shares
Telephone recording requirement
Client money/asset separation requirement
Weekly reconciliation requirement
Immediate notifications
2-day senior personnel notifications
Annual auditor client money report
Outsourcing safeguards requirement
Client information confidentiality
Information barriers (Chinese walls)
Professional indemnity insurance
Client priority in bankruptcy